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SJ

Stuart A. Jeffery

Some features on this profile are disabled
CRD#: 5241790
SJ

Professional summary

Stuart A Jeffery was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stuart is a previously registered financial professional and started their career in finance in 2006. Prior to being barred, Stuart had worked at 17 firms, which includes CRITO CAPITAL LLC, AEON CAPITAL INC, LAIDLAW & COMPANY (UK) LTD., NATIONAL SECURITIES CORPORATION, FIRST STANDARD FINANCIAL COMPANY LLC, ROTHSCHILD LIEBERMAN LLC, WESTPARK CAPITAL INC., CORINTHIAN PARTNERS L.L.C., PAULSON INVESTMENT COMPANY LLC, JOHN THOMAS FINANCIAL, ROCKWELL GLOBAL CAPITAL LLC, OBSIDIAN FINANCIAL GROUP LLC, FIRST MERGER CAPITAL INC, SEABOARD SECURITIES INC., GARDEN STATE SECURITIES INC., GRANTA CAPITAL GROUP LLC, PHD CAPITAL.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stu Jeffery

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 24, 2020 - September 7, 2023

CRITO CAPITAL LLC

BD
CRD#: 161724
New York, NY
Past

August 28, 2018 - November 5, 2019

AEON CAPITAL INC

BD
CRD#: 164004
New York, NY
Past

August 2, 2017 - July 24, 2018

LAIDLAW & COMPANY (UK) LTD.

BD
CRD#: 119037
NEW YORK, NY
Past

November 30, 2016 - August 8, 2017

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

October 17, 2016 - November 11, 2016

FIRST STANDARD FINANCIAL COMPANY LLC

BD
CRD#: 168340
Garden City, NY
Past

January 30, 2015 - October 20, 2016

ROTHSCHILD LIEBERMAN LLC

BD
CRD#: 10030
New York, NY
Past

May 19, 2014 - January 20, 2015

WESTPARK CAPITAL, INC.

BD
CRD#: 39914
NEW YORK, NY
Past

December 23, 2013 - July 15, 2014

CORINTHIAN PARTNERS, L.L.C.

BD
CRD#: 38912
NEW YORK, NY
Past

July 10, 2013 - December 23, 2013

PAULSON INVESTMENT COMPANY LLC

BD
CRD#: 5670
NEW YORK, NY
Past

March 14, 2013 - May 20, 2013

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

January 29, 2013 - April 5, 2013

ROCKWELL GLOBAL CAPITAL LLC

BD
CRD#: 142485
NEW YORK, NY
Past

June 29, 2011 - January 3, 2012

JOHN THOMAS FINANCIAL

BD
CRD#: 40982
NEW YORK, NY
Past

April 26, 2011 - June 28, 2011

OBSIDIAN FINANCIAL GROUP, LLC

BD
CRD#: 104255
NEW YORK, NY
Past

February 15, 2010 - April 13, 2011

FIRST MERGER CAPITAL, INC

BD
CRD#: 44083
NEW YORK, NY
Past

August 26, 2009 - February 22, 2010

SEABOARD SECURITIES, INC.

BD
CRD#: 755
NEW YORK, NY
Past

October 30, 2008 - August 26, 2009

GARDEN STATE SECURITIES, INC.

BD
CRD#: 10083
NEW YORK, NY
Past

May 19, 2008 - October 22, 2008

GRANTA CAPITAL GROUP LLC

BD
CRD#: 114657
NEW YORK, NY
Past

September 13, 2007 - May 15, 2008

GARDEN STATE SECURITIES, INC.

BD
CRD#: 10083
NEW YORK, NY
Past

November 3, 2006 - September 4, 2007

PHD CAPITAL

BD
CRD#: 38785
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/22/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/2/2006
General Securities Representative Examination

Current Firm

CC
CRITO CAPITAL LLC
CRITO CAPITAL LLC

CRD#: 161724 / SEC#: , 8-69050

Connecticut
Registered Investment Advisory firm - SEC (3/13/2024 Termination Requested)
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
8 Wright Street Suite 107, Westport, CT 06880
Mailing Address
8 Wright Street Suite 107, Westport, CT 06880
Phone number
(203) 423-5600
Established
Connecticut since 05/23/2011
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
2

FINRA licenses (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
CRITO HOLDINGS LLCSOLE OWNER OF CRITO CAPITAL LLC
BEATON, DANIEL STEWARTFINOP4240769
GESKE, DAVID MICHAELMANAGING PRINCIPAL2514685
GILLMAN, THEODORE JONESMANAGING PRINCIPAL, EXECUTIVE REP.2498623
MARSHALL, ANN MARIEPRINCIPAL6298134
OLEKSIW, EUNICECHIEF COMPLIANCE OFFICER3110818

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CRITO CAPITAL LLC

CRD#: 161724

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